James Michael Mc Cormick
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Michael Mc Cormick ( ), a licensed former licensee with CE reference APZ228. Total licence records on file: 3.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2011-01-24 | 2011-01-30 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 - Dealing in securities | 2007-11-08 | 2008-09-29 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 4 - Advising on securities | 2007-11-08 | 2008-09-29 |